Electronic Staff Record (ESR) Trudy Wagstaff Gordon Pearce Yorkshire and Humber ESR Operations and Benefits Team

ESR – The Complete Solution Data Warehouse - Central Reporting ESR Core Solution Standard Interfaces BACS E-KSF E-Recruitment General Ledger Inland Revenue NHS Pensions Agency Deanery E-Learning Content via OLM GMC Optional Interfaces Occupational Health Time & Attendance Planned Interfaces NHS Mail Occupational Health Smart Card Registration Authority Local Reporting Recruitment App. Quick Entry App. Management Mass Interview Core HR Inter-Authority Transfers Employee administration (New Hire –Changes -Termination) Employee Relations Payroll Processing Data Capture Absence Pensions Travel & Expenses Learning Administration (OLM) & E-Learning Talent Management Self Service (Manager, Supervisor, Administrator & Employee) Work Structures [Organisation, Location, Department, Position] Security (URPs, Local Systems Administration) Underpinned by ESR National Business Processes

ESR Implementation Approach ESR Ongoing Implementation ESR Core Implementation Consolidation Phase 3 months ESR Benefits Realisation Programme Increasing benefits & exploitation ESR Go Live RA 5 initial assessment Standard Go Live Footprint Payroll Core HR Recruitment Absence Management Workstructures Local reporting Interfaces to BACS, IR, GL, Pensions Agency Consolidation & RA 5 Finalise Process & Procedures Full end to end process End User Roll Out Core Modules Operational & Management Reporting Documentation in place Reassess vision Review of benefits / BR planning Inter Authority Transfers Payroll consolidation inc Retro Pay Interfaces operational e.g. Pensions Agency and E-Recruitment BR Programme Completion of RA5 OLM & Talent Management Employee Relations Manager Self Service / Administrator Self Service Employee Self Service Enhanced Management Reporting Interfaces e.g. TAR Service Delivery Solutions Pitch to include that there are benefits to be achieved at go live plus others during / following BR programme / project. For most organisations and staff involved, there is a natural inclination to breathe a collective sigh of relief after ESR is live and to then move on to the next project. Many organisations at this time disband the project team and the board. The Project Manager may also move on (often because they are on a short term contract which terminates once the main goal of the project has been achieved). As a result there may not be a team in place to implement the Expansion pack modules or to deliver the key benefits of ESR. There should be two key stages following go live on ESR: Consolidation The objective of this phase is to prove the system and your ability to use and support it before moving on to any further enhancement of functionality. The key tasks are described in the Readiness Assessment 5 (RA5) document and above: Further implementation phase (Benefits Realisation Programme) The key deliverables of this phase are to provide extra functionality by means of: Implementation of the Expansion Pack Modules (Oracle Learning Management, Talent Management, Self Service); Interfaces to external systems if not already achieved such as Time Attendance and Rostering, Occupational Health, e-recruitment solutions, E-KSF; Reporting requirements delivered across the organisation for both management and operational needs; An integrated solution for Human Resource Management across the entire organisation and consequently the realisation of the vision and benefits as set out both by the national team and locally at the outset of the main project. This representation views the implementation as a continuum from go live, through a consolidation period and then into a second phase of the implementation, ‘Benefits Realisation’ to deliver the remainder of the system, benefits and full exploitation. Recommendations for project and resource planning therefore: Should be continuous from the main project and that the project team should not be disbanded after go live; A board and or executive sponsor plus a project manager should be retained; A plan for Benefits Realisation should be developed during or towards the end of main implementation. The benefits realisation plan produced for RA3 can be used as the starting point. Reasoning for these recommendations: It is far harder, after a project has completed and resources have moved on, to reinstate the project and achieve the same momentum. With resources as they stand at the end of the main project there are the skills and impetus to deliver a wider scale solution than just the go live footprint. The national goal is for all organisations to make full use of the ESR Solution which has been paid for by the Department of Health. This will achieve considerable extra benefits to the whole of the NHS than just the go live footprint, at a substantial cost saving to organisations, over that which it would have cost to have bought such a solution independently.

Interfaces

Time and Attendance and Rostering (TAR)

TAR Interface Features Generic Inbound Time & Attendance – enabling third party systems to update ESR with elements to be paid such as travel and subsistence. Generic Inbound Absence – allowing third party systems to update ESR with details of absence. Generic outbound – enabling the passage of details regarding new joiners, leavers and personal details from ESR to third party systems.

ESR and TAR Importance of TAR and ESR Increased accuracy Greater efficiency EWTD compliance Enables the achievement of IWL standards Improves staffing level/mix match to demands Increases morale and employee empowerment

Providers There are a number of TAR providers who are able to interface successfully with ESR. Yorkshire and Humber SHA recently completed a procurement exercise to select TAR preferred suppliers that Trusts could use at a preferential rate.

eKSF Interface

Data Exchange ESR - Master system for all details about an individuals employment – for example their name, pay band and pay point, department, equal opps monitoring information. eKSF - Master system for recording KSF reviews, recording gateway outcomes and personal development plan. eKSF is also the master system for creating and managing KSF post outlines. 10

ESR/eKSF Interface Post outlines managed in e-KSF Outlines associated with staff, reviewers assigned to staff Reviews stored and gateway progress captured Personal Development Plans Evaluation of learning and application of knowledge and skills ESR stores data about all employees. The master system for staff employment data New starters, changes to personal / employment information, and leavers are maintained in ESR Weekly Transfer Review dates, type, & summary of dimensions & levels are passed back automatically to ESR Gateway outcomes recorded in e-KSF used to trigger any pay deferrals in ESR. Pay increments take place automatically unless there is a specific request for the increment to be held Note – data is transferred securely in both directions. Confidentiality of data is maintained

Purpose of Interface To enable employee records to be populated accurately on both systems To save time and resource by reducing duplication of input To allow Gateway outcome data to be passed to ESR for pay purposes

Other Interfaces

General Medical Council Trusts notified daily of changes to Doctors Registration Status Deanery Bi-directional interface for recruitment and updates between ESR and Deaneries.

National Learning Management System (NLMS)

elearning - Key Facts OLM / ESR functionality upgraded May 2008 to include elearning Pilot project completed June – August 2008; thereafter available across the NHS National Content is automatically added & maintained in all OLM catalogues All key national content providers signed up to provide material via ESR Course content can be accessed on site and remotely Local content can be delivered via OLM Full OLM deployment not necessary for elearning

The National LMS Solution Employee portable training record updated Provided at no cost to NHS organisations Utilises extended ESR OLM module Integrated with core ESR solution Ensures security of ESR core application Enables remote access to elearning content Link elearning completed to employee ESR training & competence record Scope: elearning will be available to all employees with a staff record on ESR National elearning content is elearning courses provided by providers such as elearning for healthcare, connecting for health and the Core Learning Unit Local elearning content is elearning courses that an NHS organisation has written/commissioned themselves and will only be used within that organisation. Local content will only be accessible by the local Trust and will not automatically be available to all NHS sites. 17 17

elearning Architecture N3 Environment (at work access) Key Points: All elearning activity takes place on elearning server Interface ensures training history in ESR is updated with elearning completed Architecture safeguards employee data in core ESR application Remote access users can only access content on internet facing servers Elearning content server(s) ESR Core Application ESR Elearning functionality Interface This Diagram shows: All elearning is delivered on the separate server (N3 users are seamlessly redirected; remote access users log straight on) Elearning content servers contain content – content is not stored on ESR Notes: elearning training completed on ESR is automatically tracked in the employee training record For remote access to work, the elearning content server must be internet facing (ie not constrained to N3) Remote access elearning users elearning users accessing at work 18 18

Future Interface Developments

Registration Partnership Project Integration of business processes between HR & RA functions Enable login to ESR with NHS Care Records Service (CRS) Smartcard Development of a bi-directional interface to allow real-time interrogation and updates of NHS CRS person based user information by ESR Pilots commenced with NHS Organisations January 2009 Large benefits for efficiency and Information Governance

ESR Workstructures Setup: NACS Code – top level of hierarchy Attach RA Sponsors Attach UIM Worklists Worklists (action queues in UIM which allow users to track and progress & approve changes) are used to manage workflow and apply changes to CRS

Professional Registration Bodies NHS Mail Provide updates of new joiners, leavers and role changes from ESR to NHS Mail NHS Mail pass newly registered email addresses back to ESR Professional Registration Bodies Intention to interface with other bodies in addition to GMC